Cumbersome client data acquisition and onboarding processes, along with trading delays due to missing or inaccurate client documentation, are top concerns for buy-side firms, according to a report from TABB Group. The study found 62 per cent of respondents experience
eflow, a provider of regulatory compliance solutions, has formed a new partnership with IP Sentinel to provide a ‘holistic and unified’ trade monitoring and market surveillance solution.Read the full story at Institutional Asset Manager…
Colt PrizmNet financial extranet is enabling connectivity to a cloud-based ecosystem of MiFID II compliant solutions, helping capital markets firms deal with the various aspects of the directive which is due to come into force in January 2018. Current partners
Seward & Kissel has launched Seward & Kissel Regulatory Compliance, a new suite of services that provides comprehensive and cost-efficient assistance to asset managers in the onerous task of complying with regulatory obligations. Seward & Kissel Regulatory Compliance, or SKRC,
BNP Paribas has agreed a settlement with the Board of Governors of the Federal Reserve System (FRB) relating to past misconduct in its foreign exchange business. Under this settlement with the FRB, BNP Paribas will pay a fine of USD246
By George Ralph (pictured), RFA Financial Cloud and Technology Services – It’s a widely held misconception that heavily regulated industries are the least agile, and the slowest to innovate. In the financial services sector particularly, there is a tendency to
By George Ralph (pictured), RFA – 2017 is as good a time as any to be starting a new alternative investment firm, certainly better than it would have been a decade ago, but there are some key areas of focus
By George Ralph (pictured), RFA Financial Cloud and Technology Services – The global financial crisis and subsequent recession happened almost a decade ago, but their legacy goes on and on, with more stringent regulations and bigger fines every year. The
The final regulations of MiFID II announced today are likely to lose brokers business, analysts their jobs and also hit fund managers’ profits says Cleveland & Co Associates, the boutique legal advisory business. Among the new regulations of MiFID II,
SteelEye, the compliance technology and data analytics firm, has appointed Matt Smith (pictured), a highly-experienced regulatory tech specialist, as its new Chief Executive Officer. Smith’s appointment is aimed at helping drive the firm’s growth as it markets its secure and
